EQ ADVISORS TRUST AMENDED AND RESTATED FIDELITY BOND SHARING AGREEMENT
Exhibit C
AMENDED AND RESTATED FIDELITY BOND SHARING AGREEMENT
THIS AGREEMENT made and entered into this 9th day of December, 1997 by and between EQ Advisors Trust (“Trust”), an open-end management investment company, on behalf of each of its series specified in Appendix A (“Portfolios”) and EQ Financial Consultants, Inc., the investment manager for the Trust (“Manager”).
WHEREAS, the Manager acts as investment manager to each of the Portfolios and each Portfolio is advised by an investment adviser; and
WHEREAS, pursuant to the requirement of Rule 17g-1 of the Investment Company Act of 1940, as amended (the “1940 Act”), the Trust, on behalf of each Portfolio, and the Manager have obtained fidelity bond coverage as named parties (“Insureds”) under a joint insured fidelity bond, as amended from time to time to reflect any additions to Appendix A (“Bond”); and
WHEREAS, the Insureds, in order to be covered by a single fidelity bond, are required by Rule 17g-1 to be parties to an agreement that establishes the criteria by which premiums and recoveries under the Bond shall be allocated among the Portfolios.
NOW THEREFORE, it is agreed as follows:
1. Amount of Coverage Maintained. The amount of fidelity coverage under the Bond shall at all times be at least equal in the amount to the sum of (i) the total amount of coverage that the Trust, on behalf of each Portfolio, would have been required to provide and maintain individually pursuant to the schedule set forth in paragraph (d) of Rule 17g-1 under the 1940 Act had the Trust not been a named insured under the Bond, plus (ii) the amount of each bond that the Manager would have been required to provide and maintain pursuant to federal statutes or regulations had it not been a named insured under the Bond. The amount of fidelity coverage under the Bond shall be approved at least annually by the Board of Trustees of the Trust, including a majority of those Trustees who are not “interested persons” of the Trust as defined by Section 2(a)(19) of the 1940 Act.
2. Allocation of Recovery. In the event an actual pecuniary loss is suffered by any two or more of the Insureds under circumstances covered by the terms of the Bond, any recovery under the Bond shall be allocated among such Insureds as follows:
(a) If the total amount of coverage provided under the Bond exceeds or is equal to the amount of the combined total amount of loss suffered by the Insureds suffering loss, then each such Insured shall be entitled to recover the amount of its actual loss.
(b) If the amount of loss suffered by each Insured suffering loss exceeds its minimum coverage requirement as set forth in Section 1 hereof and the amount of such Insureds’ combined actual losses exceeds the total amount of coverage provided under the Bond, then each such Insured shall be entitled to recover (i) its minimum coverage requirement, and (ii) to the extent there exists any excess coverage, the proportion of such excess coverage that its minimum requirement bears to the amount of the combined minimum coverage requirements of the Insureds
suffering actual loss; provided, however, that if the actual loss of any such Insureds is less than the sum of (i) and (ii) above, then such difference shall be recoverable by the other Insured or Insureds in proportion to their relative minimum coverage requirements.
(c) If (i) the amount of actual loss suffered by any Insured is less than or equal to its minimum coverage requirement, (ii) the amount of actual loss of another Insured or the other Insureds exceeds its or their minimum coverage requirement or requirements, and (iii) the amount of the combined actual losses of the Insureds exceeds the total amount of coverage provided under the Bond, then any Insured that has suffered an amount of actual loss less than or equal to its minimum coverage requirement shall be entitled to recover its actual loss. If only one other Insured has suffered actual loss, it shall be entitled to recover the remainder of the amount of the coverage under the bond. If more than one Insured has suffered actual loss in excess of the remaining coverage, then they shall allocate such remaining amount of coverage in accordance with paragraph (b) of this section 2.
3. Allocation of Premiums. No premium shall be paid under the Bond unless the Board of Trustees of the Trust, including a majority of those Trustees who are not “interested persons” of the Trust as defined by Section 2(a)(19) of the 1940 Act, shall approve the portion of the premium to be paid by the Trust, on behalf of each Portfolio. The premium payable on the Bond shall be allocated between the Trust and the Manager as determined by the Board of Trustees of the Trust.
4. Amendment. This Agreement may not be amended or modified in any manner except by a written agreement executed by the parties.
5. Filing with the Commission. A copy of this Agreement and any amendment thereto shall be filed with the Securities and Exchange Commission within 10 days after the execution thereof.
6. Applicable Law. This Agreement shall be construed and the provisions thereof interpreted under and in accordance with the laws of the State of New York.
7. Limitations of Liability of Trustees and Shareholders. A copy of the Agreement and Declaration of Trust, and any amendments thereto, are on file with the Secretary of State of Delaware, and it is hereby agreed that this Agreement is executed on behalf of the Trustees of the Trust as Trustees and not individually and that the obligations of this Agreement are not binding upon any of the Trustees, officers or shareholders of the Trust individually but are binding only upon the assets and property of the Trust.
IN WITNESS WHEREOF, EQ Advisors Trust, on behalf of each of its Portfolios, and EQ Financial Consultants, Inc., have caused this Agreement to be executed as of the day and year first written.
| EQ Advisors Trust, on behalf of each of its Portfolios |
EQ Financial Consultants, Inc. | |||||||
| By: | /s/ Xxxxx X. Xxxxx | By: | /s/ Xxxxx X. Xxxxx | |||||
| Xxxxx X. Xxxxx President and Trustee |
Xxxxx X. Xxxxx Executive Vice President | |||||||
Appendix A
X. Xxxx Price International Stock Portfolio
X. Xxxx Price Equity Income Portfolio
EQ/Xxxxxx Growth & Income Value Portfolio
EQ/Xxxxxx International Equity Portfolio
EQ/Xxxxxx Investors Growth Portfolio
EQ/Xxxxxx Balanced Portfolio
MFS Research Portfolio
MFS Emerging Growth Companies Portfolio
Xxxxxx Xxxxxxx Emerging Markets Equity Portfolio
Warburg Pincus Small Company Value Portfolio
Xxxxxxx Xxxxx World Strategy Portfolio
Xxxxxxx Xxxxx Basic Value Equity Portfolio
Lazard Large Cap Value Portfolio
Lazard Small Cap Value Portfolio
JPM Core Bond Portfolio
BT Small Company Index Portfolio
BT International Equity Index Portfolio
BT Equity 500 Index Portfolio
AMENDMENT NO. 1
TO
AMENDED AND RESTATED FIDELITY BOND SHARING
AMENDMENT NO. 1 to Amended and Restated Fidelity Bond Sharing Agreement (“Amendment No. 1), dated as of December 31, 1998, between EQ Advisors Trust, a Delaware business trust (the “Trust”) and EQ Financial Consultants, Inc., a Delaware corporation (“EQ Financial”)
The Portfolios hereby agree to modify and amend the Amended and Restated Bond Sharing Agreement (the “Agreement”) dated as of December 9, 1997 as follows:
1. New Portfolios. The MFS Growth with Income Portfolio, the EQ/Evergreen Foundation Portfolio and the EQ/Evergreen Portfolio, (the “New Portfolios”) shall be included as Portfolios in the Agreement from and after the date hereof for all purposes on the terms and conditions contained in the Agreement.
2. Appendix A. Appendix A to the Agreement, setting forth the Portfolios of the Trust participating on behalf of which the Trust is entering into the agreement is hereby replaced in its entirety by Appendix A attached hereto.
Except as modified and amended hereby, the Agreement is hereby ratified and confirmed in full force and effect in accordance with its terms.
IN WITNESS WHEREOF, the parties have executed and delivered this Amendment No. 1 as of the date first above set forth.
| EQ ADVISORS TRUST | EQ FINANCIAL CONSULTANTS, INC. | |||||||
| By: | /s/ Xxxxx X. Xxxxx | By: | /s/ Xxxxxxx X. Xxxxxx | |||||
| Xxxxx X. Xxxxx President and Trustee |
Xxxxxxx X. Xxxxxx Chairman of the Board and Chief Executive Officer | |||||||
APPENDIX A
TO
AMENDMENT NO. 1
TO
AMENDED AND RESTATED FIDELITY BOND SHARING AGREEMENT
Portfolios
BT Equity 500 Index Portfolio
BT International Equity Index Portfolio
BT Small Company Index Portfolio
EQ/Evergreen Foundation
EQ/Evergreen Portfolio
EQ/MFS Growth with Income Portfolio
EQ/Xxxxxx Balanced Portfolio
EQ/Xxxxxx Growth & Income Value Portfolio
EQ/Xxxxxx International Equity Portfolio
EQ/Xxxxxx Investors Growth Portfolio
JPM Core Bond Portfolio
Lazard Large Cap Value Portfolio
Lazard Small Cap Value Portfolio
Xxxxxxx Xxxxx Basic Value Equity Portfolio
Xxxxxxx Xxxxx World Strategy Portfolio
MFS Emerging Growth Companies Portfolio
MFS Research Portfolio
Xxxxxx Xxxxxxx Emerging Markets Equity Portfolio
X. Xxxx Price Equity Income Portfolio
X. Xxxx Price International Stock Portfolio
Warburg Pincus Small Company Value Portfolio
AMENDMENT NO. 2
TO
AMENDED AND RESTATED FIDELITY BOND SHARING AGREEMENT
AMENDMENT NO. 2 to Amended and Restated Bond Sharing Agreement (“Amendment No. 1”), dated as of May 1, 1999, between EQ Advisors Trust, a Delaware business trust (the “Trust”) on behalf of each of its series specified in Appendix A attached hereto (the “Portfolios”) and EQ Financial Consultants, Inc., a Delaware corporation (“EQ Financial”).
The Portfolios hereby agree to modify and amend the Amended and Restated Bond Sharing Agreement (the “Agreement”) dated as of December 9, 1997 as follows:
1. New Portfolios. The EQ/Alliance Premier Growth Portfolio, Capital Guardian Research Portfolio, Capital Guardian U.S. Equity Portfolio, Capital Guardian International Portfolio, (the “New Portfolios”) shall be included as Portfolios in the Agreement from and after the date hereof for all purposes on the terms and conditions contained in the Agreement.
2. Appendix A. Appendix A to the Agreement, setting forth the Portfolios of the Trust participating on behalf of which the Trust is entering into the agreement is hereby replaced in its entirety by Appendix A attached hereto.
3. Allocation of Premiums. Premiums due and payable under the Bond (as defined in the Agreement) shall be paid 90% by the Trust and 10% by EQ Financial.
Except as modified and amended hereby, the Agreement is hereby ratified and confirmed in full force and effect in accordance with its terms.
IN WITNESS WHEREOF, the parties have executed and delivered this Amendment No. 2 as of the date first above set forth.
| EQ ADVISORS TRUST | EQ FINANCIAL CONSULTANTS, INC. | |||||||
| By: | /s/ Xxxxx X. Xxxxx | By: | /s/ Xxxxxxx X. Xxxxxx | |||||
| Xxxxx X. Xxxxx President and Trustee |
Xxxxxxx X. Xxxxxx Chairman of the Board and Chief Executive Officer | |||||||
APPENDIX A
TO
AMENDMENT NO. 2
TO
AMENDED AND RESTATED FIDELITY BOND SHARING AGREEMENT
Portfolios
BT Equity 500 Index Portfolio
BT International Equity Index Portfolio
BT Small Company Index Portfolio
Capital Guardian Research Portfolio
Capital Guardian U.S. Equity Portfolio
Capital Guardian International Portfolio
EQ/Alliance Premier Growth Portfolio
EQ/Evergreen Foundation Portfolio
EQ/Evergreen Portfolio
EQ/Xxxxxx Balanced Portfolio
EQ/Xxxxxx Growth & Income Value Portfolio
EQ/Xxxxxx Investors Growth Portfolio
EQ/Xxxxxx International Equity Portfolio
JPM Core Bond Portfolio
Lazard Large Cap Value Portfolio
Lazard Small Cap Value Portfolio
Xxxxxxx Xxxxx World Strategy Portfolio
Xxxxxxx Xxxxx Basic Value Equity Portfolio
MFS Emerging Growth Companies Portfolio
MFS Growth with Income Portfolio
MFS Research Portfolio
Xxxxxx Xxxxxxx Emerging Markets Equity Portfolio
X. Xxxx Price Equity Income Portfolio
X. Xxxx Price International Stock Portfolio
Warburg Pincus Small Company Value Portfolio
AMENDMENT NO. 3
TO
AMENDED AND RESTATED FIDELITY BOND SHARING AGREEMENT
AMENDMENT NO. 3 to Amended and Restated Bond Sharing Agreement (“Amendment No. 3”), dated as of July 12, 1999, between EQ Advisors Trust, a Delaware business trust (the “Trust”) on behalf of each of its series specified in Appendix A attached hereto (the “Portfolios”) and EQ Financial Consultants, Inc., a Delaware corporation (“EQ Financial”).
The Portfolios hereby agree to modify and amend the Amended and Restated Bond Sharing Agreement (the “Agreement”) dated as of December 9, 1997 as follows:
1. New Portfolios. The EQ/Xxxxxxx Socially Responsible Portfolio, Alliance Money Market Portfolio, Alliance Intermediate Government Securities Portfolio, Alliance Quality Bond Portfolio, Alliance High Yield Portfolio, Alliance Common Stock Portfolio, Alliance Equity Index Portfolio, Alliance Growth and Income Portfolio, Alliance Global Portfolio, Alliance International Portfolio, Alliance Balanced Portfolio, Alliance Conservative Investors Portfolio, Alliance Growth Investors Portfolio, Alliance Aggressive Stock Portfolio and Alliance Small Cap Growth Portfolio, (the “New Portfolios”) shall be included as Portfolios in the Agreement from and after the date hereof for all purposes on the terms and conditions contained in the Agreement.
2. Appendix A. Appendix A to the Agreement, setting forth the Portfolios of the Trust participating on behalf of which the Trust is entering into the agreement is hereby replaced in its entirety by Appendix A attached hereto.
3. Allocation of Premiums. Premiums due and payable under the Bond (as defined in the Agreement) shall be paid 90% by the Trust and 10% by EQ Financial.
Except as modified and amended hereby, the Agreement is hereby ratified and confirmed in full force and effect in accordance with its terms.
IN WITNESS WHEREOF, the parties have executed and delivered this Amendment No. 3 as of the date first above set forth.
| EQ ADVISORS TRUST | EQ FINANCIAL CONSULTANTS, INC. | |||||||
| By: | /s/ Xxxxx X. Xxxxx | By: | /s/ Xxxxxxx X. Xxxxxx | |||||
| Xxxxx X. Xxxxx President and Trustee |
Xxxxxxx X. Xxxxxx Chairman of the Board and Chief Executive Officer | |||||||
APPENDIX A
TO
AMENDMENT NO. 3
TO
AMENDED AND RESTATED FIDELITY BOND SHARING AGREEMENT
Portfolios
Alliance Money Market Portfolio
Alliance Intermediate Government Securities Portfolio
Alliance Quality Bond Portfolio
Alliance High Yield Portfolio
Alliance Common Stock Portfolio
Alliance Equity Index Portfolio
Alliance Growth and Income Portfolio
Alliance Global Portfolio
Alliance International Portfolio
Alliance Balanced Portfolio
Alliance Conservative Investors Portfolio
Alliance Growth Investors Portfolio
Alliance Aggressive Stock Portfolio
Alliance Small Cap Growth Portfolio
BT Equity 500 Index Portfolio
BT International Equity Index Portfolio
BT Small Company Index Portfolio
Xxxxxxx Socially Responsible Portfolio
Capital Guardian Research Portfolio
Capital Guardian U.S. Equity Portfolio
Capital Guardian International Portfolio
EQ/Alliance Premier Growth Portfolio
EQ/Evergreen Foundation Portfolio
EQ/Evergreen Portfolio
EQ/Xxxxxx Balanced Portfolio
EQ/Xxxxxx Growth & Income Value Portfolio
EQ/Xxxxxx Investors Growth Portfolio
EQ/Xxxxxx International Equity Portfolio
JPM Core Bond Portfolio
Lazard Large Cap Value Portfolio
Lazard Small Cap Value Portfolio
Xxxxxxx Xxxxx World Strategy Portfolio
Xxxxxxx Xxxxx Basic Value Equity Portfolio
MFS Emerging Growth Companies Portfolio
MFS Growth with Income Portfolio
MFS Research Portfolio
Xxxxxx Xxxxxxx Emerging Markets Equity Portfolio
X. Xxxx Price Equity Income Portfolio
X. Xxxx Price International Stock Portfolio
Warburg Pincus Small Company Value Portfolio
AMENDMENT NO. 4
TO
AMENDED AND RESTATED FIDELITY BOND SHARING AGREEMENT
AMENDMENT NO. 4 to Amended and Restated Bond Sharing Agreement (“Amendment No. 4”), dated as of May 1, 2000, between EQ Advisors Trust, a Delaware business trust (the “Trust”) on behalf of each of its series specified in Appendix A attached hereto (the “Portfolios”) and The Equitable Life Assurance Society of the United States (“Equitable”)
The Portfolios hereby agree to modify and amend the Amended and Restated Bond Sharing Agreement (the “Agreement”) dated as of December 9, 1997 as follows:
1. Parties to the Agreement. As a result of the transfer of the Investment Management Agreement between the Trust and EQ Financial Consultants, Inc. to Equitable on September 17, 1999, the parties to the Amended and Restated Bond Sharing Agreement, and any amendments thereto after the date of such transfer, will be the Trust and Equitable.
2. New Portfolios. The EQ/Alliance Technology Portfolio, (the “New Portfolio”) shall be included as a Portfolio in the Agreement from and after the date hereof for all purposes on the terms and conditions contained in the Agreement.
3. Appendix A. Appendix A to the Agreement, setting forth the Portfolios of the Trust participating on behalf of which the Trust is entering into the agreement is hereby replaced in its entirety by Appendix A attached hereto.
4. Allocation of Premiums. Premiums due and payable under the Bond (as defined in the Agreement) shall be paid 90% by the Trust and 10% by Equitable.
Except as modified and amended hereby, the Agreement is hereby ratified and confirmed in full force and effect in accordance with its terms.
IN WITNESS WHEREOF, the parties have executed and delivered this Amendment No. 4 as of the date first above set forth.
| EQ ADVISORS TRUST |
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES | |||||||
| By: | /s/ Xxxxx X. Xxxxx | By: | /s/ Xxxxx X. X’Xxxx | |||||
| Xxxxx X. Xxxxx President and Trustee |
Xxxxx X. X’Xxxx Executive Vice President | |||||||
APPENDIX A
TO
AMENDMENT NO. 4
TO
AMENDED AND RESTATED FIDELITY BOND SHARING AGREEMENT
Portfolios
EQ/Aggressive Stock Portfolio
EQ/Balanced Portfolio
EQ/Alliance Technology Portfolio
Alliance Money Market Portfolio
Alliance Intermediate Government Securities Portfolio
Alliance Quality Bond Portfolio
Alliance High Yield Portfolio
Alliance Common Stock Portfolio
Alliance Equity Index Portfolio
Alliance Growth and Income Portfolio
Alliance Global Portfolio
Alliance International Portfolio
Alliance Conservative Investors Portfolio
Alliance Growth Investors Portfolio
Alliance Small Cap Growth Portfolio
EQ/Alliance Premier Growth Portfolio
BT Equity 500 Index Portfolio
BT International Equity Index Portfolio
BT Small Company Index Portfolio
Capital Guardian Research Portfolio
Capital Guardian U.S. Equity Portfolio
Capital Guardian International Portfolio
Xxxxxxx Socially Responsible Portfolio
EQ/Evergreen Foundation Portfolio
EQ/Evergreen Portfolio
EQ/Xxxxxx Balanced Portfolio
EQ/Xxxxxx Growth & Income Value Portfolio
EQ/Xxxxxx Investors Growth Portfolio
EQ/Xxxxxx International Equity Portfolio
X.X. Xxxxxx Core Bond Portfolio
Lazard Large Cap Value Portfolio
Lazard Small Cap Value Portfolio
Mercury World Strategy Portfolio
Mercury Basic Value Equity Portfolio
MFS Emerging Growth Companies Portfolio
MFS Growth with Income Portfolio
MFS Research Portfolio
Xxxxxx Xxxxxxx Emerging Markets Equity Portfolio
X. Xxxx Price Equity Income Portfolio
X. Xxxx Price International Stock Portfolio
Warburg Pincus Small Company Value Portfolio
AMENDMENT NO. 5
TO
AMENDED AND RESTATED FIDELITY BOND SHARING AGREEMENT
AMENDMENT NO. 5 to Amended and Restated Fidelity Bond Sharing Agreement (“Amendment No. 5”), dated as of September 1, 2000, between EQ Advisors Trust, a Delaware business trust (the “Trust”) on behalf of each of its series specified in Appendix A attached hereto (the “Portfolios”) and The Equitable Life Assurance Society of the United States (“Equitable”).
The Portfolios hereby agree to modify and amend the Amended and Restated Fidelity Bond Sharing Agreement (the “Agreement”) dated as of December 9, 1997 as follows:
1. New Portfolios. The EQ/AXP New Dimensions Portfolio, EQ/AXP Strategy Aggressive Portfolio, FI Mid Cap Portfolio and the EQ/Janus Large Cap Growth Portfolio (the “New Portfolios”) shall be included as Portfolios in the Agreement from and after the date hereof for all purposes on the terms and conditions contained in the Agreement.
2. Appendix A. Appendix A to the Agreement, setting forth the Portfolios of the Trust participating on behalf of which the Trust is entering into the agreement is hereby replaced in its entirety by Appendix A attached hereto.
3. Allocation of Premiums. Premiums due and payable under the Bond (as defined in the Agreement) shall be paid 90% by the Trust and 10% by Equitable.
Except as modified and amended hereby, the Agreement is hereby ratified and confirmed in full force and effect in accordance with its terms.
IN WITNESS WHEREOF, the parties have executed and delivered this Amendment No. 5 as of the date first above set forth.
| EQ ADVISORS TRUST |
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES | |||||||
| By: | /s/ Xxxxx X. Xxxxx | By: | /s/ Xxxxx X. X’Xxxx | |||||
| Xxxxx X. Xxxxx President and Trustee |
Xxxxx X. X’Xxxx Executive Vice President | |||||||
APPENDIX A
TO
AMENDMENT NO. 5
TO
AMENDED AND RESTATED FIDELITY BOND SHARING AGREEMENT
Portfolios
Alliance Common Stock Portfolio
Alliance Conservative Investors Portfolio
Alliance Global Portfolio
Alliance Growth and Income Portfolio
Alliance Growth Investors Portfolio
Alliance High Yield Portfolio
Alliance Intermediate Government Securities Portfolio
Alliance International Portfolio
Alliance Money Market Portfolio
Alliance Quality Bond Portfolio
Alliance Small Cap Growth Portfolio
EQ/Aggressive Stock Portfolio
(fka Alliance Aggressive Stock Portfolio)
EQ/Alliance Premier Growth Portfolio
EQ/Alliance Technology Portfolio
EQ/AXP New Dimensions Portfolio
EQ/AXP Strategy Aggressive Portfolio
EQ/Balanced Portfolio
(fka Alliance Balanced Portfolio)
Xxxxxxx Socially Responsible Portfolio
Capital Guardian International Portfolio
Capital Guardian Research Portfolio
Capital Guardian U.S. Equity Portfolio
EQ Equity 500 Index Portfolio*
(fka Alliance Equity Index Portfolio)
EQ/Evergreen Foundation Portfolio
EQ/Evergreen Portfolio
FI Mid Cap Portfolio
FI Small/Mid Cap Value Portfolio
(fka Warburg Pincus Small Company Value Portfolio)
EQ International Equity Index Portfolio*
(fka BT International Equity Index Portfolio)
EQ/Janus Large Cap Growth Portfolio
X.X. Xxxxxx Core Bond Portfolio
(fka JPM Core Bond Portfolio)
Lazard Large Cap Value Portfolio
Lazard Small Cap Value Portfolio
Mercury World Strategy Portfolio
(fka Xxxxxxx Xxxxx World Strategy Portfolio)
Mercury Basic Value Equity Portfolio
(fka Xxxxxxx Xxxxx Value Equity Portfolio)
MFS Emerging Growth Companies Portfolio
MFS Growth with Income Portfolio
MFS Research Portfolio
Xxxxxx Xxxxxxx Emerging Markets Equity Portfolio
EQ/Xxxxxx Balanced Portfolio
EQ/Xxxxxx Growth & Income Value Portfolio
EQ/Xxxxxx Investors Growth Portfolio
EQ/Xxxxxx International Equity Portfolio
EQ Small Company Index Portfolio*
(fka BT Small Company Index Portfolio)
X. Xxxx Price Equity Income Portfolio
X. Xxxx Price International Stock Portfolio
* Name Change Effective October 6, 2000.
AMENDMENT NO. 6
TO
AMENDED AND RESTATED FIDELITY BOND SHARING AGREEMENT
AMENDMENT NO. 6 to Amended and Restated Bond Sharing Agreement (“Amendment No. 6”), dated as of September 1, 2001, between EQ Advisors Trust, a Delaware business trust (“Trust”) on behalf of each of its series specified in Appendix A attached hereto (“Portfolios”) and AXA Advisors, LLC (“Delaware limited liability company”).
The Portfolios hereby agree to modify and amend the Amended and Restated Bond Sharing Agreement (the “Agreement”) dated as of December 9, 1997 as follows:
1. New Portfolio. The EQ/Xxxxxxx Focus Portfolio (“New Portfolio”) shall be included as a Portfolio in the Agreement from and after the date hereof for all purposes on the terms and conditions contained in the Agreement.
2. Appendix A. Appendix A to the Agreement, setting forth the Portfolios of the Trust participating on behalf of which the Trust is entering into the agreement is hereby replaced in its entirety by Appendix A attached hereto.
3. Allocation of Premiums. Premiums due and payable under the Bond (as defined in the Agreement) shall be paid 90% by the Trust and 10% by AXA Advisors, LLC.
Except as modified and amended hereby, the Agreement is hereby ratified and confirmed in full force and effect in accordance with its terms.
IN WITNESS WHEREOF, the parties have executed and delivered this Amendment No. 6 as of the date first above set forth.
| EQ ADVISORS TRUST | AXA ADVISORS, LLC | |||||||
| By: | /s/ Xxxxx X. Xxxxx | By: | /s/ Xxxxxxx X. Xxxxxx | |||||
| Xxxxx X. Xxxxx President and Trustee |
Xxxxxxx X. Xxxxxx Chairman of the Board and Chief Executive Officer | |||||||
APPENDIX A
AMENDMENT NO. 6
TO THE AMENDED AND RESTATED
FIDELITY BOND SHARING AGREEMENT
PORTFOLIOS*
| * | Effective May 18, 2001, the EQ Advisors Trust Portfolio names will include “EQ/”. |
AMENDMENT NO. 7
TO THE AMENDED AND
RESTATED FIDELITY BOND SHARING AGREEMENT
AMENDMENT NO. 7 to Amended and Restated Bond Sharing Agreement (“Amendment No. 7”), dated as of December 9, 2002, between EQ Advisors Trust, a Delaware business trust (“Trust”) on behalf of each of its series specified in Appendix A attached hereto (“Portfolios”) and AXA Advisors, LLC (“Delaware limited liability company”).
The Portfolios hereby agree to modify and amend the Amended and Restated Bond Sharing Agreement (the “Agreement”) dated as of December 9, 1997 as follows:
| 1. | Appendix A. Appendix A to the Agreement, setting forth the Portfolios of the Trust participating on behalf of which the Trust is entering into the agreement is hereby replaced in its entirety by Appendix A attached hereto. |
| 2. | Allocation of Premiums. Premiums due and payable under the Bond (as defined in the Agreement) shall be paid 90% by the Trust and 10% by The Equitable Life Assurance Society of the United States (“Equitable”) or its affiliates. |
Except as modified and amended hereby, the Agreement is hereby ratified and confirmed in full force and effect in accordance with its terms.
IN WITNESS WHEREOF, the parties have executed and delivered this Amendment No. 7 as of the date first above set forth.
| EQ ADVISORS TRUST |
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES | |||||||
| By: | /s/ Xxxxxx X. Xxxxx | By: | /s/ Xxxxx X. Xxxxx | |||||
| Xxxxxx X. Xxxxx President |
Xxxxx X. Xxxxx Executive Vice President and Chief Investment Officer | |||||||
APPENDIX A
AMENDMENT NO. 7
TO THE AMENDED AND RESTATED
FIDELITY BOND SHARING AGREEMENT
PORTFOLIOS*
| * | Effective May 18, 2001, the EQ Advisors Trust Portfolio names will include “EQ/”. |
AMENDMENT NO. 8
TO THE AMENDED AND
RESTATED FIDELITY BOND SHARING AGREEMENT
Amendment No. 8 to Amended and Restated Fidelity Bond Sharing Agreement (“Amendment No. 8”), dated as of May 2, 2003, between EQ Advisors Trust, a Delaware business trust (“Trust”) on behalf of each of its series specified in Appendix A attached hereto (“Portfolios”) and AXA Advisors, LLC (“Delaware limited liability company”).
The Portfolios hereby agree to modify and amend the Amended and Restated Fidelity Bond Sharing Agreement (the “Agreement”) dated as of December 9, 1997 and as amended by Amendment No.1 dated December 31, 1998, Amendment No.2 dated as of May 1, 1999, Amendment No. 3 dated as of July 12, 1999, Amendment No. 4 dated as of May 1, 2000, Amendment No. 5 dated as of September 1, 2000, Amendment No. 6 dated as of September 1, 2001 and Amendment No. 7 dated as of December 9, 2002 as follows:
| 1. | Appendix A. Appendix A to the Agreement, setting forth the Portfolios of the Trust participating on behalf of which the Trust is entering into the agreement is hereby replaced in its entirety by Appendix A attached hereto. |
| 2. | Allocation of Premiums. Premiums due and payable under the Bond (as defined in the Agreement) shall be paid 90% by the Trust and 10% by The Equitable Life Assurance Society of the United States (“Equitable”) or its affiliates. |
Except as modified and amended hereby, the Agreement is hereby ratified and confirmed in full force and effect in accordance with its terms.
IN WITNESS WHEREOF, the parties have executed and delivered this Amendment No. 8 as of the date first above set forth.
| EQ ADVISORS TRUST |
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES | |||||||
| By: | /s/ Xxxxxx X. Xxxxx | By: | /s/ Xxxxx X. Xxxxx | |||||
| Xxxxxx X. Xxxxx President |
Xxxxx X. Xxxxx Executive Vice President and Chief Investment Officer | |||||||
APPENDIX A
AMENDMENT NO. 8
TO THE AMENDED AND RESTATED
FIDELITY BOND SHARING AGREEMENT
PORTFOLIOS*
| * | Effective May 18, 2001, the EQ Advisors Trust Portfolio names will include “EQ/”. |
AMENDMENT NO. 9
TO THE AMENDED AND
RESTATED FIDELITY BOND SHARING AGREEMENT
Amendment No. 9 to Amended and Restated Fidelity Bond Sharing Agreement (“Amendment No. 9”), dated as of July 9, 2004, between EQ Advisors Trust, a Delaware business trust (“Trust”) on behalf of each of its series specified in Appendix A attached hereto (“Portfolios”) and AXA Advisors, LLC (“Delaware limited liability company”).
The Portfolios hereby agree to modify and amend the Amended and Restated Fidelity Bond Sharing Agreement (the “Agreement”) dated as of December 9, 1997 and as amended by Amendment No.1 dated December 31, 1998, Amendment No.2 dated as of May 1, 1999, Amendment No. 3 dated as of July 12, 1999, Amendment No. 4 dated as of May 1, 2000, Amendment No. 5 dated as of September 1, 2000, Amendment No. 6 dated as of September 1, 2001 and Amendment No. 7 dated as of December 9, 2002, and Amendment No. 8 dated as of May 2, 2004 as follows:
1. Appendix A. Appendix A to the Agreement, setting forth the Portfolios of the Trust participating on behalf of which the Trust is entering into the agreement is hereby replaced in its entirety by Appendix A attached hereto.
2. Allocation of Premiums. Premiums due and payable under the Bond (as defined in the Agreement) shall be paid 90% by the Trust and 10% by The Equitable Life Assurance Society of the United States (“Equitable”) or its affiliates.
Except as modified and amended hereby, the Agreement is hereby ratified and confirmed in full force and effect in accordance with its terms.
IN WITNESS WHEREOF, the parties have executed and delivered this Amendment No. 9 as of the date first above set forth.
| EQ ADVISORS TRUST |
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES | |||||||
| By: | /s/ Xxxxxxx X. Xxxxxxxxx | By: | /s/ Xxxxxx X. Xxxxx | |||||
| Xxxxxxx X. Xxxxxxxxx Chief Financial Officer |
Xxxxxx X. Xxxxx Senior Vice President | |||||||
APPENDIX A
AMENDMENT NO. 9
TO THE AMENDED AND RESTATED
FIDELITY BOND SHARING AGREEMENT
PORTFOLIOS*
| * | Effective May 18, 2001, the EQ Advisors Trust Portfolio names include “EQ/”. |
AMENDMENT NO. 10
TO THE AMENDED AND
RESTATED FIDELITY BOND SHARING AGREEMENT
Amendment No. 10 to Amended and Restated Fidelity Bond Sharing Agreement (“Amendment No. 10”), dated as of October 1, 2004, between EQ Advisors Trust, a Delaware business trust (“Trust”) on behalf of each of its series specified in Appendix A attached hereto (“Portfolios”) and AXA Advisors, LLC (“Delaware limited liability company”).
The Portfolios hereby agree to modify and amend the Amended and Restated Fidelity Bond Sharing Agreement (the “Agreement”) dated as of December 9, 1997 and as amended by Amendment No.1 dated December 31, 1998, Amendment No.2 dated as of May 1, 1999, Amendment No. 3 dated as of July 12, 1999, Amendment No. 4 dated as of May 1, 2000, Amendment No. 5 dated as of September 1, 2000, Amendment No. 6 dated as of September 1, 2001 and Amendment No. 7 dated as of December 9, 2002, Amendment No. 8 dated as of May 2, 2004 and Amendment No. 9 dated as of July 9, 2004 as follows:
1. Appendix A. Appendix A to the Agreement, setting forth the Portfolios of the Trust participating on behalf of which the Trust is entering into the agreement is hereby replaced in its entirety by Appendix A attached hereto.
2. Allocation of Premiums. Premiums due and payable under the Bond (as defined in the Agreement) shall be paid 90% by the Trust and 10% by The Equitable Life Assurance Society of the United States (“Equitable”) or its affiliates.
Except as modified and amended hereby, the Agreement is hereby ratified and confirmed in full force and effect in accordance with its terms.
IN WITNESS WHEREOF, the parties have executed and delivered this Amendment No. 10 as of the date first above set forth.
| EQ ADVISORS TRUST |
AXA EQUITABLE LIFE INSURANCE COMPANY | |||||||
| By: | /s/ Xxxxxxx X. Xxxxxxxxx | By: | /s/ Xxxxxx X. Xxxxx | |||||
| Xxxxxxx X. Xxxxxxxxx Chief Financial Officer |
Xxxxxx X. Xxxxx Senior Vice President | |||||||
APPENDIX A
AMENDMENT NO. 10
TO THE AMENDED AND RESTATED
FIDELITY BOND SHARING AGREEMENT
PORTFOLIOS*
| * | Effective May 18, 2001, the EQ Advisors Trust Portfolio names will include “EQ/”. |
AMENDMENT NO. 11
TO THE AMENDED AND
RESTATED FIDELITY BOND SHARING AGREEMENT
Amendment No. 11 to Amended and Restated Fidelity Bond Sharing Agreement (“Amendment No. 10”), dated as of May 1, 2005, between EQ Advisors Trust, a Delaware business trust (“Trust”) on behalf of each of its series specified in Appendix A attached hereto (“Portfolios”) and AXA Advisors, LLC (“Delaware limited liability company”).
The Portfolios hereby agree to modify and amend the Amended and Restated Fidelity Bond Sharing Agreement (the “Agreement”) dated as of December 9, 1997 and as amended by Amendment No. 1 dated December 31, 1998, Amendment No. 2 dated as of May 1, 1999, Amendment No. 3 dated as of July 12, 1999, Amendment No. 4 dated as of May 1, 2000, Amendment No. 5 dated as of September 1, 2000, Amendment No. 6 dated as of September 1, 2001 and Amendment No. 7 dated as of December 9, 2002, Amendment No. 8 dated as of May 2, 2004, Amendment No. 9 dated as of July 9, 2004, and Amendment No. 10 dated as of October 1, 2004 as follows:
1. Appendix A. Appendix A to the Agreement, setting forth the Portfolios of the Trust participating on behalf of which the Trust is entering into the agreement is hereby replaced in its entirety by Appendix A attached hereto.
2. Allocation of Premiums. Premiums due and payable under the Bond (as defined in the Agreement) shall be paid 90% by the Trust and 10% by The Equitable Life Assurance Society of the United States (“Equitable”) or its affiliates.
Except as modified and amended hereby, the Agreement is hereby ratified and confirmed in full force and effect in accordance with its terms.
IN WITNESS WHEREOF, the parties have executed and delivered this Amendment No. 11 as of the date first above set forth.
| EQ ADVISORS TRUST | AXA EQUITABLE LIFE INSURANCE COMPANY | |||||||
| By: | /s/ Xxxxxxx X. Xxxxxxxxx | By: | /s/ Xxxxxx X. Xxxxx | |||||
| Xxxxxxx X. Xxxxxxxxx Chief Financial Officer |
Xxxxxx X. Xxxxx Senior Vice President | |||||||
APPENDIX A
AMENDMENT NO. 11
TO THE AMENDED AND RESTATED
FIDELITY BOND SHARING AGREEMENT
PORTFOLIOS*
AMENDMENT NO. 12
TO THE AMENDED AND
RESTATED FIDELITY BOND SHARING AGREEMENT
Amendment No. 12 to Amended and Restated Fidelity Bond Sharing Agreement (“Amendment No. 13”), dated as of September 20, 2005, between EQ Advisors Trust, a Delaware business trust (“Trust”) on behalf of each of its series specified in Appendix A attached hereto (“Portfolios”) and AXA Advisors, LLC (“Delaware limited liability company”).
The Portfolios hereby agree to modify and amend the Amended and Restated Fidelity Bond Sharing Agreement (the “Agreement”) dated as of December 9, 1997 and as amended by Amendment No. 1 dated December 31, 1998, Amendment No. 2 dated as of May 1, 1999, Amendment No. 3 dated as of July 12, 1999, Amendment No. 4 dated as of May 1, 2000, Amendment No. 5 dated as of September 1, 2000, Amendment No. 6 dated as of September 1, 2001 and Amendment No. 7 dated as of December 9, 2002, Amendment No. 8 dated as of May 2, 2004, Amendment No. 9 dated as of July 9, 2004, Amendment No. 10 dated as of October 1, 2004, Amendment No. 11 dated as of May 1, 2005 as follows:
1. Appendix A. Appendix A to the Agreement, setting forth the Portfolios of the Trust participating on behalf of which the Trust is entering into the agreement is hereby replaced in its entirety by Appendix A attached hereto.
2. Allocation of Premiums. Premiums due and payable under the Bond (as defined in the Agreement) shall be paid 90% by the Trust and 10% by The Equitable Life Assurance Society of the United States (“Equitable”) or its affiliates.
Except as modified and amended hereby, the Agreement is hereby ratified and confirmed in full force and effect in accordance with its terms.
IN WITNESS WHEREOF, the parties have executed and delivered this Amendment No. 12 as of the date first above set forth.
| EQ ADVISORS TRUST | AXA EQUITABLE LIFE INSURANCE COMPANY | |||||||
| By: | /s/ Xxxxxxx X. Xxxxxxxxx | By: | /s/ Xxxxxx X. Xxxxx | |||||
| Xxxxxxx X. Xxxxxxxxx Chief Financial Officer |
Xxxxxx X. Xxxxx Senior Vice President | |||||||
APPENDIX A
AMENDMENT NO. 12
TO THE AMENDED AND RESTATED
FIDELITY BOND SHARING AGREEMENT
PORTFOLIOS*
AMENDMENT NO. 13
AMENDED AND RESTATED FIDELITY BOND SHARING AGREEMENT
AMENDMENT NO. 13 to the Amended and Restated Fidelity Bond Sharing Agreement (“Amendment No. 13”), dated as of August 1, 2006, between EQ/Advisors Trust, a Delaware statutory trust (“Trust”) on behalf of each of its series specified in Appendix A attached hereto (“Portfolios”) and AXA Equitable Life Insurance Company, the investment manager for the Trust (“Manager”).
The Portfolios hereby agree to modify and amend the Amended and Restated Fidelity Bond Sharing Agreement, dated as of December 9, 1997, as amended, between the Trust, on behalf of each of the Portfolios, and the Manager (“Agreement”), as follows:
| 1. | New Portfolios. EQ/AXA Xxxxxxxxx Value Long/Short Portfolio, EQ/Xxxxx New York Venture Portfolio, EQ/Franklin Small Cap Value Portfolio, EQ/Franklin Income Portfolio, EQ/International ETF Portfolio, EQ/Mutual Shares Portfolio, EQ/Xxxxxxxxxxx Global Portfolio, EQ/Xxxxxxxxxxx Main Street Opportunity Portfolio, EQ/Xxxxxxxxxxx Main Street Small Cap Portfolio, EQ/Xxxxxxxxx Growth Portfolio and EQ/Xxx Xxxxxx Real Estate Portfolio, (“New Portfolios”) shall be included as Portfolios in the Agreement from and after the date hereof for all purposes on the terms and conditions contained in the Agreement. |
| 2. | Appendix A. Appendix A to the Agreement, setting forth the Portfolios of the Trust participating on behalf of which the Trust is entering into the agreement is hereby replaced in its entirety by Appendix A attached hereto. |
| 3. | Allocation of Premiums. Premiums due and payable under the Bond (as defined in the Agreement) shall be paid 90% by the Trust and 10% by the Manager or its affiliates. |
Except as modified and amended hereby, the Agreement is hereby ratified and confirmed in full force and effect in accordance with its terms.
IN WITNESS WHEREOF, the parties have executed and delivered this Amendment No. 13 as of the date first above set forth.
| EQ ADVISORS TRUST | AXA EQUITABLE LIFE INSURANCE COMPANY | |||||||
| By: | /s/ Xxxxxxx X. Xxxxxxxxx | By: | /s/ Xxxxxx X. Xxxxx | |||||
| Xxxxxxx X. Xxxxxxxxx Chief Financial Officer and Treasurer |
Xxxxxx X. Xxxxx Senior Vice President | |||||||
APPENDIX A
AMENDMENT NO. 13
TO THE AMENDED AND RESTATED
FIDELITY BOND SHARING AGREEMENT
PORTFOLIOS
AMENDMENT NO. 14
AMENDED AND RESTATED FIDELITY BOND SHARING AGREEMENT
AMENDMENT NO. 14 to the Amended and Restated Fidelity Bond Sharing Agreement (“Amendment No. 14”), dated as of May 1, 2007, between EQ Advisors Trust, a Delaware statutory trust (“Trust”) on behalf of each of its series specified in Appendix A attached hereto (“Portfolios”) and AXA Equitable Life Insurance Company, the investment manager for the Trust (“Manager”).
The Portfolios hereby agree to modify and amend the Amended and Restated Fidelity Bond Sharing Agreement, dated as of December 9, 1997, as amended, between the Trust, on behalf of each of the Portfolios, and the Manager (“Agreement”), as follows:
| 1. | Amendment No. 14 includes provisions for a new portfolio of the Trust (the EQ/Franklin Xxxxxxxxx Founding Strategy Portfolio) and updates the names of certain existing Portfolios. |
| 2. | MarketPLUS Portfolios. Effective as of May 25, 2007, the EQ/Capital Guardian International Portfolio, EQ/FI Mid Cap Value Portfolio, EQ/MFS Investors Trust Portfolio and EQ/MFS Emerging Growth Companies Portfolio will convert to the MarketPLUS International Core Portfolio, MarketPLUS Mid Cap Value Portfolio, MarketPLUS Large Cap Core Portfolio and MarketPLUS Large Cap Growth Portfolio, respectively. |
| 3. | Appendix A. Appendix A to the Agreement, setting forth the Portfolios of the Trust participating on behalf of which the Trust is entering into the agreement is hereby replaced in its entirety by Appendix A attached hereto. |
Except as modified and amended hereby, the Agreement is hereby ratified and confirmed in full force and effect in accordance with its terms.
IN WITNESS WHEREOF, the parties have executed and delivered this Amendment No. 14 as of the date first above set forth.
| EQ ADVISORS TRUST | AXA EQUITABLE LIFE INSURANCE COMPANY | |||||||
| By: | /s/ Xxxxxxx X. Xxxxxxxxx | By: | /s/ Xxxxxx X. Xxxxx | |||||
| Xxxxxxx X. Xxxxxxxxx Chief Financial Officer and Treasurer |
Xxxxxx X. Xxxxx Senior Vice President | |||||||
APPENDIX A
AMENDMENT NO. 14
AMENDED AND RESTATED
FIDELITY BOND SHARING AGREEMENT
